South Florida Arbitration & Litigation Lawyer Blog

Securities and Exchange Commission v. Ellis, Civil Action No. 0:12-cv-62211 SEC Charges South Florida Man with Recruiting Victims of Ponzi Scheme The Securities and Exchange Commission recently charged a South Florida man with defrauding at least 14 investors by soliciting them to invest in a Ponzi scheme. A significant number of the victims were members…

Securities and Exchange Commission v. Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle) and Jilapuhn, Inc., d/b/a Her Majesty’s Credit Union, LLC, Civil Action No. [1:12-cv-02939] (D. Colo., filed November 8, 2012). SEC Charges Purported Credit Union and Its Principal with Offering Fraud Recently, the Securities and Exchange Commission filed a civil injunctive action…

Securities and Exchange Commission v. MedLink International, Inc., Aurelio Vuono and James Rose, Civil Action No. 12 Civ. 5325 (E.D.N.Y.) SEC Charges Medlink International and Two Executives with Fraudulent Filing The Securities and Exchange Commission recently announced that it filed a civil injunctive action against MedLink International, Inc., its CEO, Aurelio Vuono, and its CFO,…

Closed-End Fund: The purpose of this post is to provide the reader with a description of the investment phrase “Closed-End Fund.” Please keep in mind that this post is being provided for educational purposes only. Consequently, it is not designed to be complete in all material respects. Thus, it is should not be relied upon…

Sean Donald Premock – Fort Lauderdale, Florida: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals…

Jon Edward Piwowarczyk – South Dartmouth, Massachusetts: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals…

Roland Craig Matatics – Keene, New Hampshire: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals…

Harrison A. Hatzis – Hallandale, Florida: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have…

Carolyn Avia Harmon – Lenoir, North Carolina: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals…

In the Matter of Eugenio Verzili Recently, the Securities and Exchange Commission (“the Commission”) issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Eugenio Verzili (Verzili). The Order finds that on July 3, 2012, a judgment was entered by…